Welcome to our dedicated page for Hercules Capital SEC filings (Ticker: HCXY), a comprehensive resource for investors and traders seeking official regulatory documents including 10-K annual reports, 10-Q quarterly earnings, 8-K material events, and insider trading forms.
Hercules Capital filings document a specialty finance issuer with NYSE-listed common stock and 6.25% Notes due 2033 trading under HCXY. The company’s Form 8-K reports cover operating results, financial condition, net asset value estimates, stockholder distributions, executive appointments and material financing agreements, including supplemental indentures for unsecured notes.
Proxy materials describe board matters, executive compensation and annual meeting proposals. The filing record also identifies the company’s capital structure, registered securities, distribution practices, leverage and liquidity disclosures, and the role of Hercules Adviser LLC as a registered investment adviser managing external Adviser Funds.
Hercules Capital director Wade Loo acquired 7,317 shares of common stock through an open-market purchase, electing to receive stock in lieu of a director cash compensation fee at an average price of $14.35 per share. After this transaction, he holds 14,050 shares directly, including shares acquired through the company’s dividend reinvestment plan, and 32,767 shares indirectly through the Loo Revocable Trust.
Hercules Capital director Thomas J. Fallon increased his stake through equity compensation rather than cash. On March 26, 2026, a trust associated with him acquired 7,300 shares of Hercules Capital common stock at $14.30 per share, reported as an open‑market purchase.
The footnotes explain these shares were received in lieu of a cash director fee and are held by the Fallon Family Revocable Trust. After this transaction, the trust held 157,669 shares, while Fallon also reported 5,959 shares held directly, including shares accumulated through the company’s dividend reinvestment plan.
Hercules Capital, Inc. director DeAnne Aguirre acquired common stock by electing to receive shares instead of a cash director fee. She obtained 7,317 shares at an average price of $14.35 per share, with actual purchase prices ranging from $14.31 to $14.39.
Following this compensation-related acquisition, she directly holds 10,749 shares of common stock. In addition, 20,086 shares are held indirectly by the Aguirre Family 2004 Trust. The filing notes that the share count includes stock acquired through Hercules Capital’s dividend reinvestment plan under Rule 16a-11.
Hercules Capital, Inc. director Paramjeet K. Randhawa acquired 2,926 shares of common stock on March 26, 2026 through an open-market purchase at an average price of $14.35 per share. Following this transaction, the director directly holds 22,486 shares of Hercules Capital common stock.
According to the footnotes, the shares were purchased based on the director’s election to receive stock in lieu of a cash compensation fee otherwise payable for board service. The average purchase price reflects trades executed in a price range between $14.31 and $14.39 per share.
Hercules Capital director Gayle A. Crowell acquired 7,317 shares of Common Stock through an open-market purchase election on March 26, 2026 at an average price of $14.35 per share. These shares were received in stock instead of a cash director fee.
After this transaction, Crowell directly holds 97,589 Hercules Capital shares. The filing notes the purchase price reflects an average of trades executed between $14.31 and $14.39 per share, and that the total reported holdings include shares acquired under the company’s dividend reinvestment plan.
Hercules Capital, Inc. director Nikos Theodosopoulos reported an open-market purchase of 7,317 shares of common stock on March 26, 2026 at an average price of $14.35 per share. After this transaction, he directly owns 29,362 shares.
According to the footnotes, these shares were acquired based on his election to receive stock instead of a cash director compensation fee, and the reported price reflects an average of trades between $14.31 and $14.39. His total share count also includes shares obtained through the company’s dividend reinvestment plan.
Hercules Capital, Inc. Chief Financial Officer Seth H. Meyer reported a small tax-withholding disposition of company stock. On March 5, 2026, 5 shares of common stock were withheld at $15.11 per share to cover taxes on vesting restricted stock, leaving him with 448,548 directly held shares.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. Following this transaction, he directly owns 150,135 shares of Hercules Capital common stock.
The filing also reports 350 shares of common stock held indirectly by his spouse. This amendment corrects an earlier administrative error in how the type of transaction was reported, and restates it as an open-market purchase by the reporting person.
Hercules Capital, Inc. Chief Operating Officer Christian Follmann reported an open-market purchase of 5,000 shares of common stock on March 4, 2026 at an average price of $14.68 per share. The filing notes these shares were bought at prices between $14.60 and $14.78.
After this transaction, Follmann directly held 150,135 shares of common stock. The filing also reports 350 shares held indirectly, identified as owned "By Spouse," with the specific transaction direction for that holding not detailed.
Hercules Capital director Paramjeet K. Randhawa reported an open-market purchase of 3,050 shares of common stock on March 4, 2026 at $14.78 per share. Following this trade, the director directly owns 19,560 shares, a figure that includes shares acquired through the company’s dividend reinvestment plan.